Internal Audit VP Resume Samples

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D Mayer

Dion

Mayer

3130 Jerde Wells

Detroit

+1 (555) 903 6634

3130 Jerde Wells

Detroit

Phone

p +1 (555) 903 6634

Experience Experience

Houston, TX

VP, Trust Internal Audit

Houston, TX

Daniel, Miller and Stehr

Houston, TX

VP, Trust Internal Audit

Primary focus on planning, leading, and executing Fiduciary, BSA/AML, and SSAE-16 related audits, including those performed by external auditors
Work closely with various departments in the early identification of emerging control issues and reporting them timely to management and business stakeholders
Establishes policies and procedures to guide the internal audit function, including record retention guidelines
Designs tests or reviews testing of operational effectiveness to validate controls
Reports to senior management and the Audit Committee on the results of internal audit activities and performance relative to plan
Identifies reviews, assesses and documents risk management and control issues
Prepares written reports and delivers oral presentations to Audit Committee, internal customers, and management

Philadelphia, PA

Internal Audit, Technology, VP

Philadelphia, PA

Balistreri, Murazik and Larkin

Philadelphia, PA

Internal Audit, Technology, VP

-Management, monitoring, operations of technology, and systems and software development lifecycle. (Backups, Change Management, System monitoring)
-Documenting the results of the test steps executed and reviewing the work of other auditors to ensure it meets IA standards
-Relevant technology regulations and control frameworks – ISO 27001, ISO 22301, Data Privacy, FFIEC IT handbooks, NIST, etc
-Coordinating with coworkers who may be based in New York, London, or Bengaluru
-Internet infrastructure design and the installation and support of network devices and firewalls
Maintaining ongoing relationships with technology stakeholders including follow up on remediation of issues identified during audits
Leading the risk assessment, scoping and planning of technology audits

present

Phoenix, AZ

Internal Audit, Audit Practices Group, VP

Phoenix, AZ

Schinner-Blick

present

Phoenix, AZ

Internal Audit, Audit Practices Group, VP

present

Assisting with methodology and training initiatives
Support the delivery of high-quality, consistent and risk-focused assurance work
Performing thematic reviews of other aspects of the department’s work
Assisting with executing other aspects of the department’s Quality Assurance Improvement Program
Ad hoc project work on new IA processes or activities
Performing real time reviews as requested
Lead the project in maintaining the Audit Policies / Methodologies vs. Actual Practice vs. the Tools supporting the process, and implementation recommendation where there are gaps among these silos

Education Education

Bachelor’s Degree in Finance

New York University

Bachelor’s Degree in Finance

Skills Skills

Strong analytical skills. Able to quickly process information
Ability to supervise and mentor staff, and review work papers to ensure they meet internal quality assurance standards
Good working knowledge of securities regulations
Ability to manage audits to meet budgets and the time frame for issuing reports
Ability to synthesize and articulate complex ideas
Advanced knowledge of financial instruments
Strong project management, organizational, and presentation skills
Ability to assess potential findings for significance
Ability to develop and maintain effective working relationships with peers and business partners
Excellent communication (verbal, written, listening) and interpersonal skills

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Assistant VP of Internal Audit Resume Examples & Samples

Contributing to Risk Profiling & Continuous Audit Assessment in line with the overall Group Audit Methodology
Undertaking audit assignments, drafting audit reports for review by audit management and facilitating issue tracking and validate closure of issues
Developing relationships across the franchise and to communicate orally and in writing the results of his/her work to clients at all levels
Proactively developing and maintaining professional working relationships with colleagues, the business, and respective support areas
Working in an integrated manner with fellow team members both locally (e.g. IT Infrastructure, Risk & Finance) and globally
Providing subject matter expertise for front-to-back audits, driving risk-based dynamic planning and supporting delivery of the global audit plan
4+ years of IT Audit experience with an Asset Management group

VP of Internal Audit Practices Resume Examples & Samples

8-15 years of experience conducting /managing audit or control functions
Extensive knowledge and experience in risk-based audit methodologies, risk assessments, annual planning, risk and control, quality assurance practices
Proven track record in project management and coordination / integration efforts across multiple audit groups
Excellent communication, presentation and writing ability
Solid knowledge of the audit and banking /financial industry and its associated risks

VP of Internal Audit / Risk Resume Examples & Samples

BA in accounting
5+ years' relevant auditing experience from a public or private bank or brokerage firm
Skilled with derivatives, valuations, and risk reporting

VP of Internal Audit Equities & Prime Brokerage Resume Examples & Samples

8+ years of experience in Risk-based Auditing
Previous experience with Equities and Prime Brokerage
Strong Audit Lead, Management and Execution skills
Exposure to Trade life-cycle for Cash Equities, Listed Options, Equity Structured Products, Repo and Equity Financing and agency derivative services
Knowledge of electronic trading and dark pools

Senior VP of Internal Audit Resume Examples & Samples

12+ years of Banking Audit experience
Bachelor's Degree in Accounting, Economics, Finance, and/or related field
Previous experience with Financial Crime Compliance, Retail Credit, Credit Risk Review, and Private Banking Fiduciary
Global exposure

Internal Audit VP Resume Examples & Samples

Closely manages audit teams in the completion of audits and executing more complex aspects of the audit
Maintains client relationships within a defined portfolio of businesses or departments
Reports to an Audit Coverage Director
Assists the Internal Audit department’s Institutional Securities audit team in completing its annual audit plan, communicating to senior management and the Board Audit Committee those areas requiring control enhancements and providing recommendations for improvements. Audited functions include: sales and trading activities and procedures for one or more of the divisions (equities, fixed income, commodities), together with operations, financial accounting, compliance and legal protocols; as well as other aspects of the Sales & Trading business
Advanced knowledge of financial instruments
Extensive experience of making risk assessments at a business and process level
Managing the preparation of audit planning memoranda, including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments
Ability to supervise and mentor staff, and review work papers to ensure they meet internal quality assurance standards
Ability to manage audits to meet budgets and the time frame for issuing reports
Writing audit reports, including clear and concise findings and recommendations, and negotiating their finalization with senior client management
In excess of twelve years’ experience in financial services
Bright, motivated with excellent interpersonal and communication skills

VP of Internal Audit Resume Examples & Samples

Good knowledge of Fixed Income products, relevant regulations and market working practices and trade lifecycle
Strong understanding of trade lifecycle and associated risk and controls
Practical experience of working in or auditing investment banking environment
Graduate degree and/or relevant professional qualifications/licenses
Proven track record of high performance in previous roles

VP of Internal Audit Resume Examples & Samples

8+ years of combined experience in Internal Audit and the Financial Services industry
Strong knowledge of Wealth Management practices
CIA, MBA or CPA

VP, Cib Internal Audit Resume Examples & Samples

Evaluate the inherent and residual risks of the audit universe and within audits
Determine the scope and develop programs for audit and special projects
Development and execution of control testing and analytical testing
Assist in the preparation of the annual audit plan
Establish strong communication lines with executive management in the office
Establish solid communication lines with the regulators
Ensure that all deficiencies identified in the audit process are corrected

VP of Internal Audit Resume Examples & Samples

Sound understanding of the Volcker Rule, with focus on the requirements governing Trading activities
Good working knowledge of market activities, products, and processes
Good working knowledge of Internal Audit principles, methodologies, and tools
7+ years of experience in internal auditing, compliance or other relevant positions
Experience in auditing, testing or otherwise developing a Volcker compliance framework, with a strong control perspective
Familiarity with Dodd Frank Title VII requirements
Knowledge of market risk management principles

VP of Internal Audit Macro Rates Resume Examples & Samples

8+ years of Business Auditors and Investment Banking experience
Bachelors Degree in a related field
Solid Audit background (Financial and Products)
Understanding of front office trading support functions (Product Control, Middle Office and Price Verification)
Experience in Risk based Auditing
Understanding the trade life cycle
Experience working in or auditing investment banking environment

Audit Internal Auditor VP Resume Examples & Samples

Perform audit engagements covering the Luxembourg business including risk assessments, audit planning, audit testing, control evaluation, report issuing and follow-up and verification of issue closure
Perform regular audits required by local regulations on Anti-Money Laundering and fight against terrorism financing, Rules of Conduct of the Luxembourg Financial Sector, Internal Capital Adequacy Assessment Process (ICAAP), Remuneration Policies, CSSF Circular 12/552 on Central Administration, Internal Governance and Risk Management
Be an active member of the Governance Committee to provide input on any topic discussed (regulatory, operational, risk management...)
Establish strong work relationships with Luxembourg Business Management team, JPMC Audit, and JPMC external auditors
Provide ongoing continuous audit coverage and relationship management for the functions within JPMBL
Work closely with the local business in the early identification of emerging control issues and reporting them timely to local management and business stakeholders
Perform ongoing analysis of risk trends through the development and implementation of audit coverage
Liaise with JPMC Corporate Audit department on all Luxembourg audits
Provide regular updates on audit findings and recommendations to the Bank’s Board of Directors
Extensive previous audit experience preferably in Securities Services businesses
Certified Public Accountant or Certified Internal Auditor accreditation preferred
Detailed knowledge of fund administration, custody, depository bank products and services
Knowledge of applicable Luxembourg laws and regulatory requirements
Works well individually, shares information, supports colleagues
Strong skills in time management, problem solving,
Fluent written and spoken English, good understanding of French preferred

VP of Internal Audit Resume Examples & Samples

Previous Insurance / Reinsurance experience
Previous Audit (Financial and Operational), Internal Control, Sarbanes Oxley, and Statutory Reporting
Microsoft Excel proficient (Pivot Tables, etc.)

Internal Audit PB VP Resume Examples & Samples

Relevant professional qualifications such as CA/CPA/CIA/IIA is preferred
Significant experience in auditing of private banking and wealth management business
Superior communication skills to handle high-level stakeholders

VP of Internal Audit Resume Examples & Samples

12+ years of experience in an Internal Audit, Public Accounting, and/or a Business Operational role, such as Finance or IT
CPA, CFE, CISA, CIA or other relevant designation
Deep experience with SAP, new technologies including cloud computing, data analytics, fraud prevention/detection, and or music/entertainment
Strong understanding of GAAP, SOX, COSO, IT audit concepts, and leading business practices
Microsoft Office/Suite proficient (Excel, Access, Word, Project, Visio, etc.)

Internal Audit, Technology, VP Resume Examples & Samples

Managing a team of Americas-based Infrastructure Technology Auditors
Analyzing the design of controls around the underlying system architecture in the context of information technology controls such as security, availability and performance and their impact on the business
Designing and executing tests to validate identified system control features, which may require data analysis, code inspection and re-performance of system processes
Validating that system features meet business, technology and regulatory requirements
Documenting the results of the test steps executed and reviewing the work of other auditors to ensure it meets IA standards
Coordinating with coworkers who may be based in New York, London, or Bengaluru
Leading final audit report preparation and presenting results to senior internal audit and technology stakeholders
Liaising with firm’s external auditors and regulators
Minimum 7 years of relevant experience in an Infrastructure Technology Audit role
Cloud based infrastructure (Windows, UNIX, storage)
Software defined infrastructure
Cybersecurity control design, implementation, and testing as well as broader Information Security and Risk assessment principles
Internet infrastructure design and the installation and support of network devices and firewalls
Database design, setup and administration (DBA) experience with Sybase, Oracle, or UDB, No-SQL Platforms
System and security administration and configuration of servers and desktops, UNIX, Windows, Directory services, etc
Business Continuity Planning and Disaster Recovery design and implementation
Management, monitoring, operations of technology, and systems and software development lifecycle. (Backups, Change Management, System monitoring)
Relevant technology regulations and control frameworks – ISO 27001, ISO 22301, Data Privacy, FFIEC IT handbooks, NIST, etc
Data Analysis
Experience in Financial Services industry preferred
Strong interpersonal, written and verbal communication skills, as the job requires frequent interaction with technology and business management

Internal Audit, Audit Practices Group, VP Resume Examples & Samples

Executing Quality Assurance reviews to assess adherence to with methodology
Performing real time reviews as requested
Performing thematic reviews of other aspects of the department’s work
Assisting with executing other aspects of the department’s Quality Assurance Improvement Program
Responding to ad hoc queries raise by auditors
Assisting with methodology and training initiatives
Participating in selected departmental initiatives
Strong background in audit policy and methodology
Good attention to detail; strong analytical skills
Ability to manage multiple tasks and work well under pressure
10 years relevant experience
Degree required
CPA or CIA qualification preferred

VP of Internal Audit Resume Examples & Samples

At least 5 years of experience in the financial services industry
Bachelor's degree in Accounting or a related area
Analytical thinking skills
Experience working with asset management firms, a broker dealer, Big Four firm or regulator
Financial instruments product knowledge such as: a Financial Engineering qualification, CPA, CFA, PRMIA or FRM qualifications
Experience in audit/forensic accounting and testing

Internal Audit VP Resume Examples & Samples

Experience of leading audits covering traded products
Have an interest in exotic products and the emerging markets
Ideally have covered Operations, Risk and Compliance from an audit perspective
Be a "Self Starter", able to deliver complex work whilst managing relationships with senior management
Be able to focus on the big issues that will affect the group
Ideally you will have a Big 4 audit background (although experience in a top tier bank will be equally good)

Senior VP of Internal Audit Resume Examples & Samples

7+ years of experience in a related role
Supervisory or Senior-level background
Strong understanding of Product Control processes
Expertise with Valuation of financial instruments and key controls associated with the Independent Price Verification and Fair Value Adjustments process

Assistant VP of Internal Audit FI Credit Resume Examples & Samples

3+ years of Auditing and/or Investment Banking experience
Fixed Income background
Advanced Degree

Internal Audit, Securities Division, VP Resume Examples & Samples

Demonstrate an in-depth understanding of business areas, key processes, and supporting functions
Lead manage regional and global audits to ensure timely deliverable of audit work, and review of work documentation to meet IA audit documentation quality standards
Strong ability to identify risks, assess impact, and make recommendations on improving the control environment
Prepare commercially effective audit findings and conclusions, and present to IA senior management and business stakeholders
Follow-up on open audit issues, validation of their resolution and assessment of residual risks if any
Actively involved in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure
6+ years of experience in a public accounting or internal audit role within the financial services industry or a related control function
Sales and trading of cash, derivative and structured products across FICC (Interest rate products, credit products, Mortgages, Currencies and Commodities) and Equities (listed and OTC trading - shares, options, and futures),
Principal investments
Trading risk management, modeling, P/L reporting, and valuation of financial products,
Compliance with trading rules and regulations

Internal Audit, Audit Practices Group, VP Resume Examples & Samples

Lead the project in maintaining the Audit Policies / Methodologies vs. Actual Practice vs. the Tools supporting the process, and implementation recommendation where there are gaps among these silos
Support divisional leadership through participation in various department-wide initiatives on auditing methodology/practices
Advisory – providing advice on audit practices and procedures to the audit group
Minimum 7 plus years of experience in either public accounting or Internal Audit
Demonstrated technical abilities in select areas, audit, accounting, regulatory, compliance, etc
Experience with internal audit practice policies within a large financial services corporation
Ability to think strategically about the internal audit function, its mission and its strategic resources, including attracting highly qualified staff
Ability to interact professionally to support external auditors and company regulators
Excellent written and verbal communication skills along with experience collaborating with external auditors, consultants and other internal customers

VP, Trust Internal Audit Resume Examples & Samples

Reports to senior management and the Audit Committee on the results of internal audit activities and performance relative to plan
Establishes risk-based plans to guide the internal audit function, after consideration of Trust department strategic plans and input of senior management and the Audit Committee
Ensures identified audit findings have been vetted with appropriate management
Identifies reviews, assesses and documents risk management and control issues
Prepares and communicates recommendations for strengthening controls to the Audit Committee and senior management and assists in developing action plans to address control weaknesses
Work closely with various departments in the early identification of emerging control issues and reporting them timely to management and business stakeholders
Researches industry regulations and make recommendations for implementation
Advanced concepts, practices and procedures of auditing and risk assessment
Advanced knowledge of Trust Industry products, practices, procedures, and regulations
Advanced concepts of finance and accounting
Self-motivation and initiative to organize and prioritize work, advancing multiple assignments concurrently within established timelines
Testing key controls within business processes
Performing risk assessments and guiding management in performing self-assessments
Establishing operational objectives
Developing processes and procedures for efficient and timely work flow
Developing and executing business development strategies
Demonstrate uncompromising adherence to ethical principles
Ability to define problems collects data, establish facts, and draw valid conclusionsMotivate and persuade others to achieve desired outcomes without organizational authority
Bachelor’s Degree in Economics, Accounting, Finance or business related field with a minimum of eight (8) to ten (10) years of auditing, examiner, or related experience
Trust and estates services and fiduciary aspects of the business preferred

VP, Operations Internal Audit Resume Examples & Samples

Manage and execute audits, including audit planning, fieldwork and reporting
Monitor and assess the resolution of audit issues
Monitor the control environment and emerging risks
Contribute to the maintenance and risk assessment of the audit universe
Contribute to the development of the audit plan
Contribute to the evaluation of management’s control approach and the control environment in IB Operations and Service Operations
Proven experience in risk based auditing or risk/control activities
Management of audits or controls assurance/testing, including planning, fieldwork and reporting
Practical understanding of the financial services industry and relevant regulations and legislation
Ability to engage and build relationships with senior clients
Relevant professional qualifications e.g. CIA, MIIA, ACCA, CISA and graduate degree

VP Corp Internal Audit Resume Examples & Samples

Define the structure and create the template for ascena’s policies and procedures to effectively comply with the provisions of The Sarbanes-Oxley Act of 2002
Design, develop, implement and direct ascena’s annual audit cycle
Schedule and direct the performance of regularly scheduled financial and operational audits in all areas including balance sheet reviews, administrative and operations, supply chain, internal controls and systems, IT, and other financial transactions as required for compliance with best practices
Ensure that strong, well-documented internal control procedures and reporting systems are in place across all of ascena, defining structure and reviewing all relevant documentation
Prepare for Board of Directors meetings to review quarterly earnings releases, 10Q and 10K filings, and review other topics including legal, compliance, the Audit Charter, significant audit findings and audit related issues
Compliance requirements and changes, effectiveness of internal controls, and other germane financial and accounting issues with ascena’s senior financial management team
Manage the relationship with independent auditors including services to be performed and annual audit fee
Work closely with senior management on risk management
Ensure that the Internal Audit Group is current on all events pertinent to ascena’s future including analyst reports, the Company’s operating agenda and its relationship to the Audit Plan, and news on ascena and its competitors
Manage and develop the careers of the Internal Audit staff to ensure members are trained, challenged and provided opportunities to excel and advance within the total organization
Travel to divisions, regional offices and field locations to secure a solid understanding of ascena’s businesses throughout the United States
Experience running an Internal Audit function in a major, multi-national corporation that is leading edge in the financial area
Background working with The Sarbanes-Oxley Act of 2002 from template design through compliance
Experience upgrading and maintaining internal controls, systems and procedures that are in accordance with best practices
Audit management experience in operational, financial and IT auditing and familiarity with IT’s role in developing financial systems
Membership on the senior financial team which includes heavy interface with Board of Directors
Significant leadership and management experience in finance, accounting and audit
Background managing independent auditors and the services they provide
Track record of developing staff to secure meaningful careers in the Organization
A BS degree in accounting or related business discipline is required. A CPA or MBA from a recognized business school is highly preferred

Internal Audit, VP-edinburgh Resume Examples & Samples

Managing and leading the execution of global and regional audit reviews, including
Experience leading teams and developing talent
Relevant professional certifications are a plus
Excellent communication (verbal, written, listening) and interpersonal skills
Ability to develop and maintain effective working relationships with peers and business partners

VP, Global Internal Audit Resume Examples & Samples

Undergraduate degree or equivalent with 12+ years of direct relevant experience in an internal or external audit environment
CPA, CIA, CISA or other certification
MBA or equivalent graduate degree is desirable
Strong interpersonal, relationship management and communication skills

VP of Internal Audit Resume Examples & Samples

Establish an effective, comprehensive internal audit and risk program to be applied across the Company based on companywide risk assessment process; develop processes and procedures to support the function
Develop a communication plan and strategy about the function, and develop an education plan for stakeholders about their roles and responsibilities
Manage and coordinate the planning and execution of a comprehensive audit program directed at assessing the Company's compliance with the provisions of the Sarbanes-Oxley Act. Evaluate all corporate & control deficiencies and management action plans
Work directly with Company leadership and external advisors to identify operational and financial risks and strategic themes. Use the risk assessment to recommend an audit plan for approval by the Audit Committee
Lead an external team that analyzes and evaluates the performance of the Company’s financial, operational, and managerial processes systems to identify risks, areas for improvement, and to ensure that the Company complies with all relevant regulations, laws, and standards
Explain and discuss potential risks, issues and opportunities with Company leaders to promote a strong compliance culture. Work closely with process owners to ensure corrective action when needed
Working closely with the Chief Legal Officer to facilitate development of an Enterprise Risk Management program
Participate in special projects or other duties as needed
Bachelor’s degree in business-related field, CIA preferred
15+ years of audit experience, including time in leadership within a corporate Internal Audit function of a U.S. public company public accounting firm experience required
Sarbanes Oxley expert
Ability to work well in a fast-paced, deadline-driven environment
Attention to detail and ability to multi-task
High energy, positive, collaborative and approachable work style
Sound business acumen and the ability to weigh risk and opportunity
Ability to collaborate and build relationships across all business functions, with all levels of management, with internal and external stakeholders
Ability to adapt quickly to change

VP, Global Internal Audit Resume Examples & Samples

Apply a risk based approach to the audit of the company’s activities based on the results of the Internal Audit risk assessment process
Ensure continuous refinement and improvement to maintain the Company’s Sox Processes relevancy to Company and business operations as well as industry standards
Coordinate the execution of both the SOX Internal Control Assessment and the Enterprise Risk Management Programs for the entire Company and keep the VP Corporate Controller and CFO well informed of progress and issues
Lead point of contact on internal control matters with External Auditors, Compliance, IT, Finance, Operations and other teams across the Company
Maintain an effective and comprehensive understanding of risks and controls as it pertains to the existing organization and in consideration of the Company’s strategic initiatives
Ensure the Company, management and employees are in compliance with regulatory requirements and Company policies
Present to the Audit Committee the annual risk assessment and audit plan for approval
During the year, inform the Audit Committee of the status of the audit plan and any proposed changes to the plan and report audit resultsto management and the Audit Committee
Regularly update the Audit Committee on the results of audit activities, including any significant control or procedural weaknesses, recommendations, timetable for corrective actions and the status of management remediation effortsCommunicate the objectives and requirements of the annual audit plan to management
Ensure audit programs and testing procedures are relevant to risk and test objectives
Assist in the oversight of the Company’s anti-fraud program and risk management policies as requested by the Audit Committee
As necessary, collaborate with Legal, Human Resources, Finance and Operations to investigate and resolve complex audit issues and Hotline Calls related to known, alleged, or suspected acts of fraud, theft and other accounting and auditing matters
Research and keep abreast of new audit regulations/trends, new and emerging technologies, tools, and methodology, and elicit information from knowledgeable internal/external sources about areas and functions to evaluate or analyze
Keep the Board of Directors, Audit Committee and Executive Committee informed of emerging audit regulations/trends and successful practices in auditing and controls testing
Assist management, when needed, in the formulation of new procedures and organizational changes resulting from audit/consulting engagements and discuss changes in related policies, rules, procedures, and methods
Coordinate the scope, coverage and execution of the internal and external audit plans with the independent external auditors
Develop department Directors, Managers, Seniors, and Staff including individual’s objective setting, performance reviews, training requirements, and establishing development plans, which will facilitate their ability to rotate to other roles within the company
CPA/CIA required if individual has an Accounting Degree, otherwise MBA or Masters required or relevant business experience

VP, Global Internal Audit Resume Examples & Samples

Certified Public Accountant, Certified Internal Auditor, Certified Information Systems Auditor, or equivalent certification
12-15+ years of audit experience with a multinational company
12-15+ years of business leadership experience for a large, global organization
Experience in CPG, alcoholic beverage experience preferred

Internal Audit, IMD Tech, VP Resume Examples & Samples

Work closely with an integrated audit team to develop and maintain an in-depth understanding of key business and technology areas
Lead execution of audit testing and supervise junior team members to ensure audit objectives are met (e.g. timely completion of all deliverables, high quality documentation, effective and efficient audit fieldwork and building of strong stakeholder relationships)
Analyze processes to evaluate the design and effectiveness of the relevant technology controls by designing and executing tests to validate identified system control features, which may require data analysis, code inspection and re-performance of system processes
Liaise with senior stakeholders to discuss matters of emerging risk, regulatory inquiry and the issues affecting the day-to-day control environment
7-10 years of experience in a technology audit role
Solid understanding of Java, C++ or scripting languages (e.g. PERL)
Solid analytical and data analysis skills (e.g., SQL or similar tools)
4-year degree required (Computer Science, Math, MIS preferred)
Certification or industry accreditation (e.g., CISA, CISSP, CISM, CFA, Series 7) is a plus

Internal Audit VP-wealth Management Resume Examples & Samples

Manage audit staff by mentoring, providing subject matter expertise and conduct employee competency reviews
Perform annual audit planning and management of respective resources
Manage, analyze and evaluate the Firm's Wealth Management brokerage business focusing on client suitability, sales practices, products, investment advisory, and branch operations to evaluate the risk and control framework supporting the business. This includes, performing risk assessments for Wealth Management audit entity universe to help drive the risk-based audit plan
Execute the annual risk-based audit plan to provide appropriate coverage of retail brokerage activities. Manage the execution of the audit plan within departmental methodology, policies and standards. Work with Senior Management of the business and Internal Audit Department to vet audit issues and write and disseminate audit reports
Perform on-site retail branch audits in accordance with FINRA rules and regulations
Ability to travel when required (~15%)

Assistant VP IT Infrastructure Internal Audit Resume Examples & Samples

Identify, assess & document risks and controls
Strong practical knowledge of risk and control in technology infrastructure including processes for managing and maintaining infrastructure (i.e. ITIL processes, identity and access management etc.) as well as experience in some of the following technology areas
Operational experience in infrastructure platforms
Knowledge of the relevant regulatory environment
Risk and control experience in the financial services sector
Relevant professional qualifications (e.g. CISA, CISM, CISSP, other relevant technical qualification(s), graduate degree)

Assistant VP of Internal Audit Resume Examples & Samples

4+ years of Audit (Financial and Products) experience
Previous experience in a Management and/or Supervisory position
Knowledge about new and emerging Financial Products and Services
Project Management background

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